• David Rockman


    David Rockman's career spans over 20 years in the financial services industry. He focuses on working closely with clients to develop strategic, long-term investment and insurance initiatives. David co-founded the Embarcadero Financial Group. Prior to founding the Embarcadero Financial Group, David was the Sales Manager for New England Financial, San Francisco, where he was recognized with the coveted Master Sales Manager award for his professional excellence. David was responsible for recruiting, training and mentoring sales professionals in the areas of financial planning, insurance and investment planning. During his tenure, the San Francisco office was named Agency of the Year in five out of seven years for its record performance. While managing this successful team, David also managed his own clientele. David began his financial services career at The Northwestern Mutual Financial Network in San Francisco. He holds Chartered Life Underwriter (CLU) and Chartered Financial Consultant (ChFC) designations. David earned a B.A. from the University of California at Los Angeles. David and his wife, Mary, are long-time residents of San Francisco, California. He is active in community services and has volunteered for the San Francisco Library adult literacy program, Project Read.

    John McKenna

    Wealth Advisor

    John joined Embarcadero Financial Group in 2013 as a Wealth Advisor. He also sits on EFGs investment committee. Prior to EFG, John worked with Citi Smith Barney as a Financial Advisor in downtown San Francisco. In 2011, he was invited to join a Palo Alto team run by a Barrons' Top 10 Ranked Financial Advisor. He maintained ongoing private client relationship responsibilities including the review of sophisticated strategies for high net worth individuals. As a program coordinator for the Consulting & Corporate Services Team, primary tasking was to develop, analyze & deliver Executive Financial Planning Services to Fortune 500 firms. Smith Barney was acquired and ultimately re-branded as Morgan Stanley Wealth Management. Earlier in his career, John helped run several firms and is familiar with successfully starting, building and selling a business. John earned his M.B.A. from the University of California at Berkeleys Haas School of Business. He earned a B.S. from Georgetown Universitys School of Foreign Service.

    Fred F. Sprinz, CFP®

    Fred Sprinz, CFP®  specializes in retirement and estate plans for closely held business owners with a concentration in agriculture, trucking and construction. Founder of S&B Financial, Fred merged S&B Financial with Embarcadero Financial Group at the start of 2017 to provide clients additional depth & support.  A 1973 graduate of the University of Oregon, Fred received his Masters of Arts Degree in Education. He was employed with Continental Bank in Chicago from 1973-1977 and entered the financial services industry in 1977. Fred is a Registered Principal licensed in both securities and life insurance.  Fred has been a member of NAIFA since 1986 and past president of the San Jose West Rotary. Fred is a Certified Financial Planner and has been an active member of the Financial Planning Association since 1988.


    Amy Huey

    Senior Client Service Associate

    Amy joined Embarcadero Financial Group in 2015. Amy is currently a  member of the ONESCO Operations Advisory Board. Amy passed the Series 99 Operations Professional Qualification Examination.  The series 99 exam is administered by FINRA and qualifies a person as a registered operations professional, licensed to perform a variety of covered operational functions for a broker dealer.  Prior to joining EFG, Amy worked at First Republic Securities Company, LLC for over 8 years. She began as an Operations Associate and worked her way through different roles to gain the knowledge and experience she has brought to EFG. As a Quality Control Specialist & Senior Associate, First Republic awarded Amy for excellent customer service two years in a row. She earned her B.A. in Economics at Sacramento State University.

    Chanel Griffith

    Client Service Associate

    Chanel joined Embarcadero Financial Group in 2015. Chanel's focus is on group benefits at EFG.  Chanel is licensed for both health and life insurance.  Chanel earned her Bachelors in Political Science with a minor in Philosophy and a Certificate in Legal Studies from California State University, Fresno.  She holds, among her areas of focus at EFG: new client onboarding, database management, and group health administration.  Chanel brings valuable customer service experience to EFG.  While completing her degree, she worked 4 years in a client facing position at a Fortune 200 "Most Admired Company."  Chanel also volunteers for the SF Food Bank.